Compliance & AML by Entity/Industry

Bates Compliance's team of experienced compliance and AML professionals assist firms with compliance, risk mitigation, supervision, and internal control functions. Follow the links below to learn about Bates Compliance & AML solutions for your company or business.

Compliance & AML Solutions by Entity

Registered Investment Advisers (RIA)

Broker-Dealers (BD)

Private Funds (PF)

Exempt Reporting Advisers (ERA)

Banks

Money Services Businesses (MSB) & FinTech

Non-Banking Financial Institutions (NBFI)

Blockchain/Virtual Assets (Cryptocurrency)

Precious Metal Dealers

Go to BD/IA Compliance compliance

Go to MSB, FinTech & Virtual Assets compliance

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Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields.

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